| 22-02448 | 09/06/2023 | Claimant(s): Amy Zachery
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): George Pinckney Shingler
Hearing Site: Atlanta, GA
| | |
| 22-02902 | 09/06/2023 | Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Timothy Worley
Respondent Lawyers(s): Timothy Worley
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
|  | |
| 23-00267 | 09/05/2023 | Claimant(s): Marcia Litrenta
Claimant Lawyers(s): William B. Young
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 23-00121 | 09/01/2023 | Claimant(s): James Small
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Royetta M. Jones, Walter Steven Schwartz, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
| | |
| 22-02757 | 09/01/2023 | Claimant(s): Kristi Trowbridge, Steve Trowbridge
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Robert Abrams
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
| | |
| 23-00447 | 09/01/2023 | Claimant(s): Margaret Burnes
Claimant Lawyers(s): Margaret Burnes
Respondent(s): Gerald Markwith, Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | Expungement |
| 23-01066 | 09/01/2023 | Claimant(s): Vande Vrede Family Trust
Claimant Lawyers(s): Kenneth Vande Vrede
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Michael I. White
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Richmond, VA
| | $300 |
| 23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 22-02848 | 09/01/2023 | Claimant(s): William Young
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Grove Point Investments, United Brokerage Services
Respondent Lawyers(s): Matt Winterhalter, Michael Earl
Arbitrator(s): Kurt Matthew Schwartz, Michael James Malone, Clinton Barkdoll
Hearing Site: Washington, DC
| | |
| 23-01264 | 08/31/2023 | Claimant(s): William Cerf
Claimant Lawyers(s): Zachary M. Schmitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
